by Jyotsna Bucktowar | Dec 20, 2024
Deutsche Bank Securities has been fined US $4 million for failing to file suspicious activity reports on time between April 2019 and March 2024 despite receiving requests linked to law enforcement investigations. The SEC found the company took more than two years in...
by Jyotsna Bucktowar | Oct 16, 2024
The SEC alleges took control of Minerco a dormant penny stock and appointed its head to promote the company as a pioneer in psilocybin mushroom research. From 2020 to 2021 issued false statements, claiming Minerco had partnerships and valuations that didn’t exist, and...
by Jyotsna Bucktowar | Jul 26, 2024
The whistleblower persisted in reporting the misconduct internally, which led the employer to conduct its own investigation and eventually report the results to the Commission. This self-report caused the Commission to open an investigation. Further, without the...
by Jyotsna Bucktowar | Jul 18, 2024
The SEC’s complaint alleges that Left, who resides in Boca Raton, Fl., used his Citron Research website and related social media platforms on at least 26 occasions to publicly recommend taking long or short positions in 23 companies and held out the positions as...
by Jyotsna Bucktowar | Jun 9, 2024
SEC charges defendants with violating antifraud and federal securities laws, seeking permanent injunctive relief, return of gains, and civil penalties…
Recent Comments